RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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D•••••• A•••••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 9, 2026 · San Diego, Ca
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedOct 12, 2012 to Mar 13, 2026 · Annapolis, Md
- O•••• F•• I••• formerJul 8, 2009 to Oct 17, 2012 · Annapolis, Md
- A••••••••• F•••••••• S•••••••• L•• national BDJul 12, 2004 to Jul 8, 2009 · Columbia, Md
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Mar 13, 2026, registered Mar 9, 2026 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 17, 2012, registered Oct 12, 2012 (-5 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to O•••• F•• I•••left Jul 8, 2009, registered Jul 8, 2009 (0 days) · Other
- D•••••• A•••••• P••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2026-03-09)Mar 13, 2026 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address